Reg BI

Broker Michael Zanders in Ameriprise Financial Services, LLC Firm Has Customer Complaint

July 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Zanders (Zanders), currently associated with Ameriprise Financial Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zanders recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $90,400.00 on August 31, 2023.

Claimant alleges advisor recommended unsuitable investment of a variable annuity.

Broker Alan Au in J.P. Morgan Securities LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Au (Au), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Au recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 06, 2023.

Claimant believes this investment was unsuitable.

There are Recent Customer Complaints with Broker David Ward in Firm Wells Fargo Clearing Services, LLC

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Ward (Ward), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ward recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 11, 2023.

Trustee complained, seeking reimbursement for investment losses, interest charges, and fees incurred on the investment of funds borrowed against an insurance policy. (1/4/2021 – 9/11/2023)

Broker Andrew Feyerabend in Moloney Securities Co., INC. Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Feyerabend (Feyerabend), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Feyerabend recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 11, 2023.

Suitability/negligence. 2019-2020

There are Recent Customer Complaints with Broker Robert Chastain in Firm Cuna Brokerage Services, INC.

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Chastain (Chastain), previously associated with Cuna Brokerage Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Chastain recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $11,312.00 on September 06, 2023.

Client alleges he should have been invested in the S&P 500 and was told his annuity investments were protected against loss. It was found that a guaranteed minimum accumulation benefit form was completed for the variable annuity contract, but was never submitted to the annuity carrier for processing.

There are Recent Customer Complaints with Broker Jeffrey Kennedy in Firm Center Street Securities, INC.

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kennedy (Kennedy), previously associated with Center Street Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $99,999.00 on September 12, 2023.

Client alleges registered representative recommended and sold an unsuitable investment.

There are Recent Customer Complaints with Broker Robert Koba in Firm Raymond James Financial Services, INC.

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Koba (Koba), currently associated with Raymond James Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Koba recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $9,484.22 on September 11, 2023.

The client alleged investments were not suitable.

Broker Carlo Licata in Morgan Stanley Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Licata (Licata), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Licata recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 12, 2023.

Claimant alleges, inter alia, that his accounts were not managed in his best interests 2022-2023

Broker Jennifer Basey in American Global Wealth Management, INC. Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Basey (Basey), currently associated with American Global Wealth Management, INC., has at least one disclosable event. These events include one customer complaint, alleging that Basey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on September 05, 2023.

: Customer alleges that registered representative made assurances that investments were safe and had customer invest in preferred stocks over par without customer’s consent, which resulted in losses.

Broker Morgan Hill in Arete Wealth Management, LLC Firm Has Customer Complaint

July 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Morgan Hill (Hill), currently associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hill recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on September 08, 2023.

Client alleges registered representative recommended an unsuitable investment.